This Directive was canceled February 20, 2004.

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U.S. Department of Transportation
Federal Highway Administration

PERSONNEL MANAGEMENT MANUAL

June 28, 1996

Chapter 11: Disciplinary Actions, Adverse Actions, Grievances and Appeals

Par.

  1. Purpose

  2. References

  3. Personnel Actions Based on Unacceptable Performance

  4. Preventive Measures Taken by Supervisors

  5. Considerations in Determining Appropriate Action

  6. Supervisory Responsibilities

  7. Employee Grievances

Att. Procedures - Disciplinary Actions

Att. Procedures - Adverse Actions

  1. PURPOSE. The following chapter should be used in conjunction with the Department of Transportation (DOT) Order 3770.1C, "Disciplinary and Adverse Actions and Appeals," and Departmental Personnel Manual Letter 771-1, Agency Administrative Grievance System Handbook, dated May 1988.

  2. REFERENCES.

    1. Title 5, Code of Federal Regulations (CFR), Part 752,

    2. DOT Order 3770.1C, "Disciplinary and Adverse Actions and Appeals," dated September 1, 1980, as amended,

    3. DOT DPM Letter 771-1, "Handbook - Agency Administrative Grievance System," dated May 18,1988, as amended,

    4. FHWA Employee Handbook, "Your Job in the Federal Highway Administration," Chapter VII, Supplement A, "Guideline Table of Offenses and Penalties", and

    5. Douglas vs. Veterans Administration, 5 MSPB, 313 (1981).

  3. PERSONNEL ACTIONS BASED ON UNACCEPTABLE PERFORMANCE.

    Guidance for dealing with unacceptable performance is provided in the FHWA Personnel Management Manual, Chapter 5, section 2, "Performance Management System", paragraph 8, and DOT Order 3770.3," Personnel Actions Based on Unacceptable Performance."

  4. PREVENTIVE MEASURES TAKEN BY SUPERVISORS.

    1. stay alert to developing problems in performance and/or conduct.

    2. work to resolve problems and issues informally.

    3. take timely and appropriate action.

    4. when appropriate, refer employees to the Employee Assistance Program.

    5. document all action taken between the supervisor and employee in reference to any problems. Documentation may include records of previous disciplinary actions, investigative reports, time and attendance reports, evidence of reasonable accommodation, summaries of discussions or counseling sessions.

  5. CONSIDERATIONS IN DETERMINING APPROPRIATE ACTION. If disciplinary action is necessary to change the behavior, the immediate supervisor is responsible for initiating the action, taking into consideration the following factors, either singularly or in combination, to determine what action is most appropriate:

    1. nature and seriousness of the offense, itsrelation to the employee's duties, position and responsibilities and if the behavior was intentional, technical, inadvertent, was committed maliciously or for gain, or was frequently repeated.

    2. employee's job level and type of employment, including supervisory or financial responsibilities, public contact and prominence of the position.

    3. employee's past disciplinary record.

    4. employee's past work record, including the length of service, performance on the job, ability to get along with co-workers, and dependability.

    5. effect of the offense upon the employee's ability to perform at a satisfactory level and its effect upon supervisor's confidence in the employee's ability to perform assigned duties.

    6. consistency of the penalty with those imposed upon other employees for the same or similar offenses.

    7. consistency of the penalty with FHWA's table of penalties.

    8. impact of the offense upon the reputation of the FHWA.

    9. clarity with which the employee was on notice of any rules that were violated in committing the offense, or had been warned about the conduct in question.

    10. potential for the employee's rehabilitation.

    11. mitigating circumstances surrounding the offense such as unusual job tensions, personality problems, mental impairment, harassment, or bad faith, malice or provocation on the part of others involved in the matter.

    12. effectiveness of alternative sanctions to deter such conduct in the future by the employee or others.

    Not all of these factors will apply in every case and additional factors may also need consideration. The circumstances of each individual case will determine the most relevant factors to be considered. These factors should not be treated as a mechanical formula, but, if an adverse action is appealed to the Merit Systems Protection Board, that body will explicitly review the action for consistency with the above factors.

  6. SUPERVISORY RESPONSIBILITIES. Every supervisor has the responsibility for promptly taking or initiating disciplinary measures or adverse actions when necessary. When a supervisor becomes aware of employee misconduct or delinquency, or if circumstances strongly indicate that misconduct or delinquency has occurred, he/she should promptly attempt corrective action through oral or written communication with the employee, or take other appropriate disciplinary measures as warranted.

  7. EMPLOYEE GRIEVANCES. To promote employee satisfaction and clear communications, a grievance system is established which allows employees to obtain consideration of certain matters of personal concern or dissatisfaction which are subject to the control of FHWA management. The procedures governing the agency administrative grievance system are contained in DOT DPM Letter 771-1.

(SEE ATTACHMENT FOR TABLE OF DISCIPLINARY AND ADVERSE ACTIONS)

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